NOTE:
Offers of Settlement (OS) and Letters of Acceptance, Waiver, and Consent (AWC)
are entered into by Respondents without admitting or denying the
allegations, but consent is given to the described sanctions and to the
entry of findings.

Stockbroker Expungement Grapples With Death and Taxes in Time of Plague (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5257/FINRA-Expungement-Taxes/It is said that the only certainties in life are death and taxes. In today's featured FINRA expungement arbitration, we get to deal with both of life's certainties. We have a deceased customer. We ha... Read On